client is in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing
Bangkok, February 5, 2014 - The SEC suspended {A}, a capital market investment consultant for trading securities on behalf of client while working for Kasikorn Securities Plc.Following a report from
trading orders. In this regard, {A} and {B} actions were deemed the violation of Clause 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of
clients. In this regard, the aforesaid actions are in violation of Clause 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business
-General revealed that the Capital Market Supervisory Board approved to revise investment rules for mutual fund, private fund for retail investors and provident fund to support the funds? investment in
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Exchange Act 2535 92 12/03/1992 16/05/1992 2. Notification of Capital Market Supervisory Board TorThor 31/2556 Rules on Application for Obtaining an Approval and Granting to Establish Branch Offices
investment consultants: revoking approval of Auracha Vachirakulthon as securities investment consultant for 10 years, starting from December 22, 2015, and suspending approval of {B} and {C} as capital market